96-24535. Job Training Partnership Act: Title III National Reserve Grants Application Procedures

[Federal Register Volume 61, Number 187 (Wednesday, September 25, 1996)]
[Notices]
[Pages 50388-50401]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-24535]



[[Page 50387]]


_______________________________________________________________________

Part III





Department of Labor





_______________________________________________________________________



Employment and Training Administration



_______________________________________________________________________



Job Training Partnership Act: Title III National Reserve Grants--
Application Procedures; Notice

Federal Register / Vol. 61, No. 187 / Wednesday, September 25, 1996 / 
Notices

[[Page 50388]]



DEPARTMENT OF LABOR

Employment and Training Administration


Job Training Partnership Act: Title III National Reserve Grants--
Application Procedures

AGENCY: Employment and Training Administration, Labor.

ACTION: Notice of procedures for grant applications.

-----------------------------------------------------------------------

SUMMARY: The Employment and Training Administration of the U.S. 
Department of Labor (Department or DOL) is announcing policies and 
procedures for accessing funds to implement programs, pursuant to 
sections 323(a), 323(b), 325, 325A and 326 of the Job Training 
Partnership Act (the Act or JTPA). Applications prepared and submitted 
pursuant to these guidelines and received at the address below will be 
considered. These guidelines supersede guidelines for National Reserve 
Account grants previously published in the Federal Register on February 
7, 1992, July 9, 1992, and July 19, 1993. Grant awards will be made 
only to the extent that funds remain available.

DATES: The grant policies and procedures described in these guidelines 
shall be effective immediately, and shall remain in effect until 
further notice. Funds are available for obligation by the Secretary of 
Labor (the Secretary) under Sections 302(a)(2) and 323 of the JTPA. 
Applications will be accepted on an ongoing basis as the need for funds 
arises at the State and local level. Applicants are strongly encouraged 
to submit fully documented applications as early as possible following 
notice of the dislocation event.

ADDRESSES: An original plus one copy of the application must be mailed 
or hand delivered to: Office of Grants and Contracts Management, 
Division of Acquisition and Assistance, Employment and Training 
Administration, U.S. Department of Labor, Room S-4203, 200 Constitution 
Avenue, NW, Washington, DC 20210; Attention: James C. DeLuca, Grant 
Officer. The application must be paginated and unbound. A copy of the 
application must simultaneously be mailed or delivered to the 
appropriate Regional Office(s) of the Employment and Training 
Administration. [A list of the Regional Offices is provided in Appendix 
A.] Emergency applications may be sent to the Grant Officer by 
electronic transmission (FAX No.: 202/219-8739) with a hard copy 
followup within one day of the transmission, but the Department prefers 
that an applicant use an overnight mail service.

FOR FURTHER INFORMATION CONTACT: Ms. Shirley M. Smith, Chief, Division 
of Program Implementation, Office of Worker Retaining and Adjustment 
Programs. Telephone: [phone]. (This is not a toll free number). 
Application packages and instructions and technical assistance on 
application requirements are available from Regional Offices of the 
Employment and Training Administration (see Appendix A) and from the 
Office of Worker Retraining and Adjustment Programs, Employment and 
Training Administration, U.S. Department of Labor, Room N-5426, 200 
Constitution Avenue, NW., Washington, DC 20210.

SUPPLEMENTARY INFORMATION: The Department announces the availability of 
funds for grants to provide training, adjustment assistance, and 
employment services for dislocated workers, as defined in Sections 
301(a), 314(h)(1), 325 (a) and (e), 325A (b) and (f), and 326(a)(1) of 
JTPA.
    The application procedures, selection criteria, and approval 
process contained in this notice are issued pursuant to the JTPA 
regulations at 20 CFR 631.61.
    This program announcement consists of five parts and five 
appendices:

 Part I provides background and basic DOL policies and emphases 
for discretionary grants under sections 323, 325, 325A and 326 of the 
Act;
 Part II describes specific program and administrative 
requirements that will apply to all grant awards;
 Part III describes basic grant application submission 
requirements and the criteria that will be used to evaluate 
applications for funding;
 Part IV describes responsibilities for oversight and 
performance management of awarded grants; and
 Part V describes the circumstances requiring and approval 
criteria for grant modification requests.

The appendices include directories of ETA Regional Offices and State 
Offices, copies of required assurances and certifications, and 
definitions of key terms.
    Copies of complete application packages and instructions are 
available from ETA Regional Offices (see Appendix A) and State 
Dislocated Worker Units (see Appendix C).
    The JTPA Title III program is listed in the Catalogue of Federal 
Domestic Assistance at No. 17-246 ``Employment and Training 
Assistance--Dislocated Workers (JTPA Title III Programs).''

    Signed in Washington, DC on this 19th day of September, 1996.
Timothy M. Barnicle,
Assistant Secretary of Labor.

Part I

A. Background

    The guidelines for the submission, award and management of JTPA 
Title III National Reserve Account (NRA) grants are designed and 
intended to foster efficient and responsive disbursement, and effective 
use of NRA funds. A primary objective of these guidelines is to 
establish a process which results in timely assistance to eligible 
dislocation events while supporting accomplishment of the quality 
service principles which have been defined by DOL for its customers. 
These principles are:

 Early intervention and contact with affected workers;
 Effective planning which mobilizes a full range of services 
and resources;
 Flexible, individualized service approaches which are tailored 
to the needs of the workers and circumstances of the dislocation event; 
and
 Service-delivery that achieves quality outcomes for the 
affected workers.

To ensure that NRA grant awards achieve these service principles, the 
NRA guidelines were developed by a Federal- State-local workgroup of 
representatives from each of the partner organizations involved in the 
implementation and management of NRA projects. The workgroup focused on 
developing guidelines which reflect the key principles of quality 
management: strategic planning, customer-driven quality, strong 
processes and continuous improvement, and management by facts/
information.

B. DOL Policies and Emphases

    1. DOL is establishing four primary objectives regarding the use of 
NRA funds:

 Effective use and integration of NRA funds with other 
available resources (e.g., Title III formula, Pell grants, Trade 
Adjustment Assistance);
 Targeting resources to need;
 Providing quality services and achieving quality outcomes for 
customers;
 Timely submission and processing of applications and 
implementation of services.

To support these objectives, DOL is committing to a 45 (calendar) day 
turnaround between the receipt of a complete application and a funding 
decision by the Secretary. The review and approval process presumes an

[[Page 50389]]

active review role by the State JTPA entity, including the Dislocated 
Worker Unit (DWU), to ensure the submission of complete and responsive 
applications. DOL expects that the State will not require more than 15 
(calendar) days following its receipt of a complete application to 
review and transmit that application to the Grant Officer and the ETA 
Regional Office.
    2. DOL is implementing two policies designed to support more 
flexible funding of projects and more timely delivery of services to 
eligible workers:
    a. Grant Officer authority to approve, in appropriate cases, the 
use of grant funds to pay for pre-award costs of reemployment and 
retraining services specifically identified in the grant award document 
that were or are being provided to members of the eligible target 
group; and
    b. Incremental or phased funding where appropriate.
    These policies are intended to support a quality-based approach to 
the design and delivery of services to eligible dislocated workers. 
Quality improvements in services and outcomes achieved for dislocated 
workers are an important goal of NRA grant projects. The 
appropriateness of these funding options will be evaluated on a case-
by-case basis.
    In general, authorization of pre-award costs will only occur in 
exceptional circumstances where: (1) It was necessary for the State or 
substate to provide previously committed funds to serve the immediate 
needs of the eligible target group prior to the date of the grant 
award; and (2) it can be demonstrated that the needed action was due to 
an unanticipated or unusual circumstance and not as a result of 
untimely planning or submission of the funding request. Funds awarded 
in one Program Year cannot be used to pay for the costs of services 
incurred in a prior Program Year.
    3. DOL expects that applications for NRA grant funds will flow from 
effective rapid response and early intervention activities, a 
significant State and local project planning effort, and will ensure an 
integration of all available resources (e.g., formula, discretionary, 
other public and private) to support the project plan. Applicants are 
required to provide rapid response-type, early intervention services in 
conjunction with any dislocation event for which NRA grant assistance 
is provided.
    4. Application requirements are focused more on the use of quality 
participant service and management processes, and less on detailed 
operational planning decisions.
    Applicants are expected to use NRA grant funds to implement 
innovative projects which achieve high quality services and outcomes 
for the dislocated workers who are served. Customer satisfaction 
measurement and continuous improvement will be required elements in 
each NRA grant project.
    In summary, the guidelines provide more flexibility, but increase 
expectations regarding the linkage between discretionary grants and: 
rapid response and project planning activities; the mobilization and 
use of all available resources; and the implementation of quality 
service strategies and management processes.

Part II

    Under Section 322(a), the Secretary has the responsibility to 
target resources efficiently to areas of most need, to encourage a 
rapid response to economic dislocations, and to promote the effective 
use of funds. In addition, Title III national reserve funds should 
provide a model for promoting higher quality services and outcomes in 
all dislocated worker programs.

A. Policies and Requirements Governing the Use of Title III National 
Reserve (NRA) Funds

    1. All projects and activities funded shall be subject to the Act, 
the JTPA regulations, the requirements contained in the application 
instructions, and the Grant Officer's award document(s) and any 
subsequent grant amendment(s).
    2. Grant applications should be an outgrowth of an effective early 
intervention process. Applications for NRA funds should be the result 
of a planning process which has been activated through State rapid 
response and, as appropriate, an early intervention assistance process 
that may include the use of formula funds to initiate basic 
readjustment, retraining and supportive services. In cases where 
formula funds have been used to provide services (excluding rapid 
response, which is the State's responsibility) to the eligible target 
group prior to the date of grant award and the availability of formula 
funds in the State is limited, the Grant Officer may authorize the use 
of grant funds to pay for the costs of these services.
    3. National reserve funds should supplement and expand the State 
and substate capability to respond effectively to dislocation events. 
NRA projects should generally be funded from multiple sources; and NRA 
funds should be used both to serve more dislocated workers and to 
achieve higher quality services and outcomes than may be possible 
through the formula funded program alone. States and substate areas are 
expected to make maximum use of funds provided for the purpose of 
serving eligible dislocated workers. Requests for NRA funds, therefore, 
will be evaluated in terms of the policy delineated in Training and 
Employment Guidance Letter (TEGL) 7-95, and any subsequent 
modifications thereto, regarding intertitle transfers of funds under 
JTPA, as authorized by the FY 1996 Omnibus Appropriations Act.
    Grantees will be expected to make a maximum effort to assist each 
eligible participant to apply and qualify for available sources of 
student financial assistance, consistent with the provisions of 
Sec. 627.220 of the JTPA Regulations. It is important to note that 
student financial assistance not only provides more resources to the 
program, but also provides more resources, and expands the options, to 
the participant.
    When an employer or other entity offers a tuition payment or 
tuition reimbursement program for the eligible workers, the grantee 
and/or project operator shall work with the employer/entity to 
establish an appropriate process for accessing the funds to pay for the 
costs of worker training.
    4. NRA funded projects should support the key ETA service goals and 
be designed around principles that have been shown to be effective in 
achieving positive outcomes for dislocated workers (e.g., transition 
service centers, mechanisms for active employer and worker input in 
design and operation of the project, methods of continuous improvement 
based on customer feedback).
    5. The NRA grant process should recognize and provide a means for 
responding to the fluidity of dislocation events. The Secretary may use 
an incremental funding approach to respond to dislocation events as 
determined by need. Incremental funding of a grant can be at the 
request of the applicant or at the discretion of the Secretary.

B. Eligible Circumstances for Use of NRA Funds

    Services of the type described in JTPA section 314 may be provided 
with national reserve funds in the following circumstances:

 Plant closures and substantial layoffs within a State when the 
workers are not expected to return to their previous industry or 
occupation of employment;
 Dislocations resulting from natural disasters and other 
devastating events;
 Plant closures and substantial layoffs that occur on a multi-
state basis;

[[Page 50390]]

 Substantial layoffs resulting from federal government actions;
 Provision of additional financial assistance to programs and 
activities being operated by State and substate grantees under Part A 
of Title III of JTPA, where economic conditions have sufficiently 
changed to warrant an increase in the area's formula allocation.

C. Participant Eligibility

    Individuals who meet the eligibility criteria defined in sections 
301(a), 314(h)(1), 325(a) and (e), 325A(b) and (f), or 326(a)(1) of 
JTPA, as amended by the Defense Authorization Act of 1995), shall be 
eligible for assistance through national reserve grants.

D. Allowable Activities and Services

    NRA funds may be used to provide services of the type described in 
sections 314 and 325A(f) of the Act.

E. Required Services

    Each project funded with national reserve funds--except 
applications for DISASTER projects and ADDITIONAL FINANCIAL ASSISTANCE 
(AFA)--must provide the following activities and services prior to or 
in conjunction with project implementation:
    1. Contact with employers and employee representatives affected by 
a dislocation or potential dislocation of individuals, preferably not 
later than 2 business days after notification of such dislocation.
    2. Establishment of a mechanism for involving representatives of 
the affected workers, the employer and the community in planning the 
project.
    3. Collection of information on affected individuals to determine 
the approximate number of such individuals in need of assistance and 
interested in receiving services. Such information should include items 
such as age ranges, education and skills, job tenure, and wage ranges 
to allow preliminary assessments of likelihood to seek and obtain 
employment in the local labor market.
    4. As appropriate, arranging for orientation sessions, counseling 
services, and early intervention services for affected individuals.
    These services must be provided as a condition for award of the 
grant. These services should be provided by, under the direction of, or 
in collaboration with the State through its Dislocated Worker Unit.

F. Performance Outcomes

    Each NRA grant project will be expected to achieve the end-of-
project performance goals which are established by ETA for the 
applicable program year. For PY 1996, the performance goals are:

1. Entered Employment Rate = 75.0%
2. Wage Replacement Rate for Entered Employments = 90.0%

    Note: The ``wage replacement rate'' is defined in Appendix E.

3. Customer satisfaction rating of ``extremely'' or ``very satisfied'' 
with the services received = 70.0%

    Note: Each grantee will be required to establish or use a system 
of customer satisfaction measurement and continuous improvement in 
conjunction with the NRA project. The project-related costs of 
operating this system are chargeable to the grant under the 
``Administration'' cost category.

G. Administrative Requirements

1. General
    Grantee organizations will be subject to the JTPA law, regulations, 
these guidelines, the terms and conditions of the grant and any 
subsequent modifications, to applicable Federal laws (including 
provisions in appropriations law), and any applicable requirements 
listed below--
    a. State and local Governments (except for JTPA State grant 
recipients that receive national reserve grant funds under the JTPA 
State Grant Agreement ``block grant'')--OMB Circular A-87 (cost 
principles), and 29 CFR part 97 (Uniform Administrative Requirements 
for Grants with State and Local Governments).
    b. Non-Profit Organizations--OMB Circulars A-122 (Cost Principles) 
and 29 CFR Part 95 (Administrative Requirements).
    c. Educational Institutions--OMB Circulars A-21 (Cost Principles) 
and 29 CFR Part 95 (Administrative Requirements).
    d. Profit Making Commercial Firms--Federal Acquisition Regulation 
(FAR)--48 CFR Part 31 (Cost Principles), and 29 CFR Part 95 
(Administrative Requirements). In addition, the audit requirements at 
20 CFR 627.480 shall apply to commercial recipients.
2. Financial Management
    a. Cost limitations under section 315 of JTPA and 20 CFR 631.14 
apply to national reserve grants, except where justification for 
adjusting these limitations is included in the grant application, or 
subsequent grant modification requests, and approved by the Grant 
Officer.
    b. The limitation on administrative costs shall apply to the grant 
award, exclusive of funds expended for needs-related payments. This 
limitation applies to the total expenditures for program administration 
including any funds reserved by the State where it is the applicant but 
not the project operator. Any costs associated with administering a 
system of needs-related payments shall be separately identified in the 
application budget and justified. The Grant Officer may approve 
additional costs for the administration of needs-related payments, 
based on information provided by the applicant. For National Reserve 
Account grants, cost limitations will be based on actual end-of-project 
expenditures.
    c. NRA grant applicants should not automatically budget 15 percent 
of the award amount toward administration. All proposed costs in the 
budget must be reflected as either direct charges to specific budget 
line items or an indirect cost. The amount planned to be used for 
administration and the specific purposes for which it will be used must 
be specified in the budget.
    d. If an indirect cost is used, a copy of the most recent approval 
document from the cognizant federal agency shall be included in the 
application.
    e. Profits or fees are not an allowable expense for grantee 
organizations. Profits or fees are allowable for profit organizations 
which are subrecipients or project operators, subject to the provisions 
of Sec. 627.420(e)(3) of the JTPA Regulations. However, no profits or 
fees will be allowed if the subrecipient or service provider is the 
employer, or a division or subsidiary of the employer, of the 
dislocated workers.
    f. National reserve grant funds which have been expended for 
training prior to certification of Trade Adjustment Assistance (TAA) 
eligibility do not have to be reimbursed when TAA funds become 
available to cover the balance of the training. The source of funds 
used to pay these costs will be the decision of the grantee, in 
conformance with provisions of the Trade Act.
    g. Unless otherwise waived by the Grant Officer, national reserve 
grant funds cannot be used to pay for the full cost of furniture or 
equipment that has a useful life which is longer than the grant period. 
Other funds should be used, as needed, for such purchases and an 
appropriate usage/depreciation charge should be applied to the grant.
3. Audit
    Grantee organizations shall be responsible for complying with the 
audit requirements defined in Sec. 627.480 of the JTPA Regulations (as 
published in the September 2, 1994, Federal Register).

[[Page 50391]]

4. Reporting Requirements
    a. The grantee will be required to comply with two reporting 
requirements related to each NRA grant project:
    (1) Applicants should contact the appropriate Regional Office of 
the Employment and Training Administration (see Appendix A) for 
currently applicable reporting requirements.
    One signed original and one copy of applicable reports shall be 
provided to: U.S. Department of Labor, ETA, Office of the Comptroller, 
Division of Accounting, Room C-5325, 200 Constitution Ave., NW, 
Washington, DC 20210.
    One copy shall also be provided to the ETA Regional Office, ATTN: 
Regional Administrator.
    (2) The grantee shall provide information required on the 
Standardized Program Information Record (SPIR) (OMB No. 1205-0321).
    b. The grantee will be requested to provide the following 
additional performance information to the Grant Officer and to the 
Regional Office:
    (1) One copy each of its periodic performance management reports on 
the project, consistent with the performance management procedures 
which are described in the approved grant.
    These reports should be provided no later than 30 days after the 
end of the report period.
    At a minimum, the grantee's performance management procedures will 
be expected to address how the grantee will measure progress and manage 
performance against the project's objectives as defined in the approved 
Implementation Schedule and the Cumulative Quarterly Expenditure Plan.
    (2) An End-of-Project Report providing a summary analysis of the 
accomplishments of the project in relation to its goals, strengths and 
weaknesses in project design and implementation, and suggestions for 
improvements in the NRA grants management process. This report should 
be provided no later than 90 days after the end date of the project.

H. State Review

1. Responsibility
    Where the applicant is an entity other than the State JTPA 
administrative entity, the State, in its role of managing the use of 
Title III resources in the State to provide services to eligible 
dislocated workers, will be expected to provide comments on the 
application. The JTPA Liaison shall submit with each application for 
NRA grant funds a letter providing his/her comments on the application. 
The applicant will submit the application to the State JTPA 
administrative entity for review (see Appendix B: List of State JTPA 
Liaisons and Appendix C: List of State Dislocated Worker Units). In the 
case of a non- State entity submitting an application for a multi-State 
project, the applicant will submit the application to the State JTPA 
administrative entity in each state in which the project will operate.
    The State's review and comments should include:

 A determination that the application is complete and 
responsive to the guidelines (a completeness review checklist is 
included in Appendix G);
 An assessment of the responsiveness of the project plan to the 
dislocation event;
 A verification that the applicant has the ability to 
satisfactorily undertake the proposed project;
 A certification that available State and local resources are 
inadequate to meet the requirements of the proposed project; and
 A certification that the required services identified in 
Section II.C have been or are being provided.

The State's review and determination letter must be included in the 
application package.

    Note: This requirement shall not apply to applications submitted 
by eligible Native American grantees.
2. Timing
    The State should, and is strongly urged to complete the review and 
forward the application to the Grant Officer, with a copy to the 
appropriate Regional Office, within 15 calendar days after receiving a 
complete application.

I. Secretary's Rights Reserved

    1. The Secretary reserves the right to distribute a portion of 
national reserve funds in a manner other than that provided by this 
notice, consistent with the JTPA, and taking into consideration special 
circumstances and unique needs which may arise. This may include the 
funding of projects through a separate competitive grant process.
    2. The Secretary also reserves the right to fund individual 
projects on an incremental basis where the Department determines that 
such an action would result in the most effective use of available 
resources.
    3. If the Department receives an insufficient number of 
applications which are of acceptable quality, and which meet the 
guidelines and selection criteria contained in this notice, to fully 
and effectively use the funds in the national reserve account, the 
Department will take whatever action it deems necessary and 
appropriate, consistent with the Act and the regulations. Unobligated 
funds remaining when the Secretary's obligational authority expires 
will be returned to the Treasury.

Part III

A. Types of Grant Applications for NRA Funds

    There are four types of applications which may be submitted for 
Title III NRA funds:

 A standard or REGULAR application;
 An application for a DISASTER assistance project;
 An application for a MULTI-STATE project where the applicant 
is not a State entity;
 An application for ADDITIONAL FINANCIAL ASSISTANCE (AFA).

A REGULAR or MULTI-STATE application may be submitted to operate a 
project in accordance with Section 323, Section 325 (Defense 
Conversion), Section 325A (Defense Diversification), Section 326 of the 
Act (Clean Air Employment Transition Assistance), or for NAFTA-impacted 
workers. AFA projects may only be operated in accordance with Section 
323; and DISASTER projects may only be operated in accordance with 
Sections 323 and 324.

B. Eligible Applicants for NRA Grants

    Eligible applicants for NRA grants include States, Title III 
substate grantees, employers, representatives of employees, Native 
American tribal entities eligible to receive JTPA grant funds pursuant 
to section 401 of JTPA, and other entities which are certified by the 
State(s) as qualified project operators. Eligibility of specific types 
of entities for the various types of NRA grants is more completely 
described in the grant application package.

C. Grant Application Submission Requirements

    To be considered for funding, an application will need to include 
the information identified in this section. Specific requirements for 
each type of application are fully described in the application package 
available through ETA Regional Offices and State Dislocated Worker 
Units.
    If an applicant plans to operate a project through more than one 
project operator (see definitions in Appendix E), each project operator 
shall be identified and a separate Budget and Implementation Schedule 
provided. Where appropriate, description of separate target groups and 
service

[[Page 50392]]

processes for each project operator shall also be provided. In all 
cases, the applicant must also include a summary Budget and 
Implementation Schedule for the entire project.
    1. State's Review and Comment Letter.--A letter from the State 
consistent with the provisions of Section II.H.
    2. Transmittal Letter.--A letter requesting national reserve funds 
on behalf of the applicant, signed by the Governor (or his/her 
authorized JTPA signatory official), or by the applicant's authorized 
signatory must accompany the application. [Note: Where the applicant is 
the State, the Review and Comment and Transmittal requirements may be 
covered in one letter.]
    3. Standard Form (SF 424).--Each application must include a 
completed SF 424, Application for Federal Domestic Assistance 
(Catalogue No. 17.246) with an original signature by the authorized 
signatory.
    4. Assurances and Certifications.--Each application must include an 
original signed copy, by the authorized signatory, of the ``Assurances 
and Certifications for National Reserve Grants'' [See Appendix D]. Non-
State grantees will be required to complete additional assurances and 
certifications, where applicable.
    5. Synopsis of the Project.--Each application must include a 
completed ``Project Synopsis,'' which identifies the applicant, the 
target group, the amount of requested funds, the number of planned 
participants, and the primary occupations targeted for training and job 
placement.
    6. Project Narrative.--The narrative portion of the application, 
excluding attachments, should not exceed thirty (30) double-spaced 
pages, typewritten on one side of the paper only, and paginated. The 
narrative must specifically address each of the elements listed below. 
Use of tables and charts to summarize relevant data and information is 
strongly encouraged. However, the applicant must provide sufficient 
narrative interpretations of data summarized in any tables and charts 
to support the need for the project and the effectiveness of the 
planned service strategy.
    The project narrative shall include:
    a. Required Services. A description of the specific actions which 
have been completed regarding the required services described in 
section II.E of these guidelines.
    If all required services have not been completed at the time of 
submitting the application, a timetable for completing them must be 
included in the application.
    b. Analysis of Target Group. (1) A description of how the number of 
affected workers which are expected to participate in the program was 
determined.
    (2) Where layoffs have occurred more than 4 months prior to the 
submittal of the application to the State (or DOL if the State is the 
project operator), the application shall describe the methods which are 
being and will be used to maintain continuing contact with the workers.
    (3) Identify if all or part of the dislocation is potentially 
trade-impacted. Indicate the status of any NAFTA and/or TAA petitions 
which have been filed or planned to be filed in conjunction with this 
dislocation.
    (4) If the proposed target group includes workers dislocated as a 
result of the relocation of a company facility or the transfer of a 
company operation to another location, the city and State to which the 
relocation or transfer is being made shall be identified.

    Note: This information will not be used to evaluate the 
application, but is being requested to help the Department enforce 
section 141(c) of the Act.

    c. Analysis of Labor Market Conditions. A brief description of 
local labor market conditions, including any other job markets in which 
job placement is an appropriate option for the affected workers. The 
description must address current and expected labor supply and demand 
relationships as they relate to the reemployment and wage recovery 
potential for the target group of workers.
    d. Description of Client Service Process. A description of the 
client service process to be used for effective training and job 
placement of the population to be served.
    e. Needs-Related Payments. A description of how the estimate of the 
funds required for needs-related payments to the participants to be 
served through the project was developed. The description should 
include an identification of the estimated number of participants who 
will need or be eligible for needs- related payments, and the 
applicant's policies for payment of needs-related payments.
    f. Relocation/Out-of-Area Job Search Assistance. If relocation and/
or out-of-area job search assistance are to be provided, a description 
of the circumstances that make these appropriate services for the 
target group.
    g. Management Process. A description of the core management process 
and procedures to be used by the project operator in implementing the 
project and in managing and controlling project performance and 
expenditures.
    h. Coordination and Linkages. (1) For States and Title III substate 
grantee applicants, a description only of coordination relationships 
which go beyond those that are described in the Title III State or 
substate plan.
    (2) For other applicants, a signed statement from the State 
Dislocated Worker Unit and/or the applicable Title III substate grantee 
that the level of coordination relationships which have been, or are 
being developed is adequate.
    (i) Financial and Management Capabilities. For applicants who are 
neither the State nor a Title III substate grantee, a description of 
financial and management capabilities of the applicant.
    7. Implementation Plan.--The application shall include the 
following implementation information:
    a. An identification of activities, timeframes and responsibilities 
for implementing the project in a timely manner after award. The 
activities must include organization and opening of service facilities, 
staffing, and the execution of agreements with key service providers.
    b. A quarterly implementation schedule showing the number of 
participants, enrollments in training, participants receiving needs-
related payments, terminations, and entered employments.
    8. Project Budget.--The application must include a budget for all 
costs required to implement the project design effectively, as 
described in the preceding sections.
    a. Cost Classification. Costs must be classified under the 
following cost categories: Administration, Basic Readjustment Services, 
Retraining, Supportive Services and Needs-Related Payments, as defined 
in 20 CFR 631.13.
    b. Budget Forms. The application shall include the following 
completed budget information:
    (1) Project Line Item Budget, which shall reflect the total costs 
required to implement the project design that are to be paid with NRA 
grant funds.
    (2) Service Plan Matrix, which shall identify the specific 
activities and services in the project design and the planned funding 
sources for each.
    (3) Planned Cumulative Quarterly Expenditures of NRA Grant Funds, 
which shall provide a quarterly expenditure plan for the use of NRA 
grant funds, identified by cost category.
    Collectively, these budget forms present a total cost picture to 
implement the project and indicate how NRA funds

[[Page 50393]]

will be integrated with other available sources of funds.
    c. Use of Grant Funds for Pre-Award Costs. If the applicant is 
requesting approval from the Grant Officer for use of grant funds to 
pay for costs of providing services to the target group which have been 
incurred prior to issuance of the Notice of Obligation (NOO), the 
applicant shall submit two sets of the required budget forms: one which 
includes requested pre-award costs, and one which does not include 
these costs. The applicant must provide a detailed explanation of why 
grant funds are needed to cover these costs. If the Grant Officer 
approves the request, such costs will be specifically identified in the 
grant award document. If the applicant does not request and the Grant 
Officer does not approve the use of grant funds for such costs, then 
grant funds cannot be used to pay for any such costs.
    d. Justification for Requested NRA Funds. The applicant must 
provide information which justifies the level of requested NRA funds in 
relation to other available Title III funds in the State. The 
information must include an identification of available formula and NRA 
funds, actual obligations and expenditures, and the projected need for 
unexpended funds. Available Title III funds in the State shall include 
funds allotted by formula at the beginning of the Program Year plus any 
carryover funds from previous PYs. Available Title III funds shall 
include any Title III funds which have been transferred to other Titles 
under the provisions of TEGL 7-95, and any subsequent modifications 
thereto, and which remain unexpended.
    e. Justification for Project Design Performance. The applicant must 
provide information which compares the planned design and performance 
for the project with performance information for the formula program 
for the most recently completed Program Year in the substate area, or 
State if appropriate, in which the project is to be implemented. If the 
planned performance for this project varies from the related experience 
on the formula program by more than ten percent (10%), the applicant 
must provide an explanation, including supporting documentation, of the 
factors which are causing the differences in performance. Performance 
factors to be addressed must include: cost per participant, entered 
employment rate, cost per entered employment, average wage at 
placement, average duration of participation, and maximum amounts of 
needs-related payments which can be paid to an individual participant.
    9. Description of State's Administrative Responsibilities.--The 
application shall include an identification of the individual(s) within 
the State administrative entity who will be responsible for the 
oversight activities, as described in Part IV of these guidelines.
    The State is expected to perform the following core 
responsibilities related to each NRA project for which the State is the 
grantee:

 Maintain participant and financial information and submit 
required reports;
 Ensure compliance of project operations with applicable 
statutory and regulatory requirements;
 Carry out the required project site visits;
 Provide needed technical assistance to the project 
operator(s).

If the State is performing only these core responsibilities in 
conjunction with the project, it may receive no more than 1.5% of the 
approved grant funds, up to a maximum amount of $25,000.
    If the State is performing more than the core administrative 
responsibilities and/or wants to request more than $25,000 in NRA grant 
funds for State-level administration, it must include in the 
application:
    a. A detailed description of the additional administrative 
responsibilities to be performed and a timetable for undertaking and 
completing them;
    b. A line-item budget identifying the costs of the State-level 
administrative responsibilities;
    c. An explanation of why these responsibilities are more 
appropriately performed at the State level instead of by the project 
operator;
    d. A certification that State formula funds are not available to 
cover the costs;
    e. A signed letter from the project operator(s) commenting on the 
proposed plan for performing project administrative functions.
    10. Review and Comment.--Each application shall include 
documentation of the following review and comment requirements:
    a. Substate Grantees. The application must include letters from the 
Governor (or his/her designated signatory official for JTPA) and each 
appropriate JTPA Title III substate grantee indicating that they have 
been provided an opportunity to review and comment on the application. 
Each letter shall provide a description of funding, services and/or 
assistance to be provided to the project.
    b. Labor Organizations. Each application where a substantial number 
(20% or more) of the affected workers are represented by a labor 
organization(s) must provide documentation of full consultation with 
each appropriate local labor organization in the development of the 
project design.
    Each application shall describe the procedure which has been or 
will be used to consult with any labor organization which represents a 
substantial number of the workers employed in the local labor market in 
occupations in which participants are being trained through the 
proposed project.

D. Application Review Criteria

    1. Overall Considerations. To be considered, the application must 
demonstrate that the proposed project meets the purpose of and is 
consistent with the Act and regulations; and provides all the 
information required by these guidelines. Applications which are not 
complete in accordance with the requirements defined in these 
guidelines will not be evaluated for funding until all required 
information and documentation is provided.
    2. Specific Evaluation Criteria. The following specific criteria 
shall apply to the evaluation of complete applications:
    a. Target Group. The extent to which the application identifies an 
eligible target group and provides a reasonable estimate of the portion 
of the total eligible group to be assisted through the project, based 
on available information.
    b. Need for NRA Funds. The extent to which an effort has been made 
to access other available federal, State and local resources to finance 
the project and the request for NRA funds is supported by available 
information on resources and resource utilization.
    c. Management Plan. Extent to which an adequate process and plan is 
in effect to deliver the required services, and the applicant has 
described appropriate management processes to guide and control project 
implementation.
    d. Participant Service Plan. Extent to which the described 
participant service process is responsive to the dislocation 
circumstances and the ETA customer service principles; and the 
Implementation Plan provides a timely response to the dislocation(s).
    e. Reasonableness of Proposed Costs. Extent to which proposed cost 
items relate to the service plan and that cost levels are appropriate 
given experience on other projects in the same service area, or on 
information provided in the application.
    These criteria will be used to develop a recommendation on each 
application regarding fundability (YES/NO),

[[Page 50394]]

funding level, and funding method (e.g., full funding, incremental 
funding, incremental release of funds).

Part IV

A. Performance Management/Oversight Requirements

    There will be a minimum of two onsite reviews of each NRA grant 
project: one within 90 days after grant award; a second at 
approximately the midpoint of the grant period or six months after the 
project begins enrolling participants (whichever comes first). 
Additional onsite reviews may be conducted based on the complexity, 
duration and/or performance of the project, and/or recommendations from 
either of the two required reviews.
1. 90-Day Review
    The purpose of this review is to verify that the required services 
have been or are being provided; the implementation actions regarding 
facilities, staffing, and project operator agreements have been 
completed; and that the core management and participant service 
processes are being planned and implemented appropriately.
    This review must be completed no later than the end of the 4th 
month following grant award.
2. Midpoint Review
    The purpose of this review is to assess the effectiveness of the 
participant service process and the core service elements of outreach, 
recruitment, eligibility; assessment and service planning; referral to 
services; and job development. This review will also analyze the 
approach to collecting and using customer feedback information.
    Although both the 90 day and the midpoint reviews will, as a matter 
of course, look at compliance issues, the focus is on ensuring that 
critical elements are in place to be able to accomplish the project's 
objectives and effectively use the grant funds which have been awarded.

B. Performance/Oversight Responsibilities

    The States and ETA Regional Offices will have primary 
responsibility for the onsite reviews in cases where the project 
operator is an entity other than the State. The Regional Office will be 
responsible for the onsite reviews of all projects in which the grantee 
is a non-JTPA entity, or in which the State is the project operator.
    In cases in which the State is the grantee but not the project 
operator, the State will have the primary responsibility for conducting 
the 90 day review. The midpoint review of such projects will be jointly 
conducted by the State and the Regional Office. National Office staff 
will participate in midpoint reviews of selected large and/or complex 
projects.
    For both 90 day and midpoint reviews, a summary report from the 
site review shall be submitted to the Title III Program Office, ATTN: 
Chief of the Division of Program Implementation and to the ETA Regional 
Administrator, no later than 30 (calendar) days after the review is 
completed.
    A copy of the report shall be provided to the State and to the 
grantee (if other than the State) for follow-up.

C. State Administration

    States are expected to perform the following core responsibilities 
related to NRA projects in which the State is the grantee:

 Maintenance of participant and financial information and 
submission of required reports;
 Ensure compliance of project operations with applicable 
statutory and regulatory requirements;
 Provide needed technical assistance.

If this is the limit of the State's role on the project, the State is 
playing a ``pass-through'' administrative role and is subject to the 
following limit on the State's share of administrative costs which can 
be charged to the project: 1.5% of the grant award up to a maximum of 
$25,000. As described in section III.C.9 of these guidelines, the State 
may request a higher amount for State administration, but must provide 
a detailed justification.

Part V

A. Circumstances Requiring a Grant Modification Request

    In general, a grant modification request will be required when 
circumstances change to the extent that:
 Actual end-of-project performance is expected to vary by more 
than 15% from plan regarding: total participants, participants to be 
enrolled in training, or expenditures for retraining;
 Actual end-of-project expenditures will be less than the 
award, or the amount of the award will be insufficient to 
satisfactorily complete the project;
 The project objectives cannot be accomplished in the approved 
grant period;
 There is a need to redefine the eligible target group for the 
project.

Modification requests to reduce the performance measures in the 
approved grant (i.e., entered employment rate, wage replacement rate, 
customer satisfaction rating) to be consistent with actual performance 
will not be approved.
    Non-State grantees will also be required to comply with applicable 
OMB Circular requirements regarding grant modifications, where 
applicable.

B. Review and Approval of Grant Modification Requests

    Requests for grant modifications will be considered consistent with 
the general purposes of the national reserve account, the selection 
criteria for national reserve projects, and the purposes of the 
original grant award. Modifications which request changes in the 
approved grant budget that comprise 25% or more of the grant award, or 
which significantly change the project design will be reviewed on the 
same basis as a new application, except that Assistant Secretary rather 
than Secretary approval will be required.
    Grant modification requests should not be submitted later than 90 
days prior to the expiration date of the grant. A request to deobligate 
or reprogram grant funds should be submitted no later than 120 days 
prior to the expiration date of the grant.
    The Grant Officer will advise the State, or grantee if not the 
State, in writing of any approval or disapproval of the requested grant 
modifications within 30 (calendar) days of receipt of a complete grant 
modification request. Such notification will occur within 45 (calendar) 
days for modifications requiring Assistant Secretary approval.

[[Page 50395]]

Appendix A.--Directory of Regional Offices of the Employment and 
Training Administration

     Regional Offices of the Employment and Training Administration     
------------------------------------------------------------------------
      Region (States served)                 Contact information        
------------------------------------------------------------------------
Region I (Connecticut, Maine,       U.S. Dept. of Labor/Employment &    
 Massachusetts, New Hampshire,       Training Admin., JFK Federal       
 Rhode Island, Vermont)--Robert J.   Building, Room E-350, Boston,      
 Semler, Regional Administrator.     Massachusetts 02203, (617) 565-    
                                     3630.                              
Region II (New York, New Jersey,    U.S. Dept. of Labor/Employment &    
 Puerto Rico, Virgin Islands)--      Training Admin., 201 Varick Street,
 Albert Garizio, Acting Regional     Room 755, New York, New York 10014,
 Administrator.                      [phone].                    
Region III (Delaware, District of   U.S. Dept. of Labor/Employment &    
 Columbia, Maryland, Pennsylvania,   Training Admin., 3535 Market       
 Virginia, West Virginia)--Edwin     Street, Room 13300, Philadelphia,  
 G. Strong, Regional Administrator.  Pennsylvania 19104, [phone].
Region IV (Alabama, Florida,        U.S. Dept. of Labor/Employment &    
 Georgia, Kentucky, Mississippi,     Training Admin., 1371 Peachtree    
 North Carolina, South Carolina,     Street, NE; Room 400, Atlanta,     
 Tennessee)--Toussiant L. Hayes,     Georgia 30367, [phone].     
 Regional Administrator.                                                
Region V (Illinois, Indiana,        U.S. Dept. of Labor/Employment &    
 Michigan, Minnesota, Ohio,          Training Admin., 230 South Dearborn
 Wisconsin) Joseph Juarez,           Street, Room 628, Chicago, Illinois
 Regional Administrator.             60604, [phone].             
Region VI (Arkansas, Louisiana,     U.S. Dept. of Labor/Employment &    
 New Mexico, Oklahoma, Texas)--      Training Admin., 525 Griffin       
 Donald A. Balcer, Regional          Street, Room 317, Dallas, Texas    
 Administrator.                      75202, [phone].             
Region VII (Iowa, Kansas,           U.S. Dept. of Labor/Employment &    
 Missouri, Nebraska)--William H.     Training Admin., 1100 Main Street, 
 Hood, Regional Administrator.       Suite 1050, Kansas City, Missouri  
                                     64105, [phone].             
Region VIII (Colorado, Montana,     U.S. Dept. of Labor/Employment &    
 North Dakota, South Dakota, Utah,   Training Admin., 1999 Broadway     
 Wyoming)--Peter E. Rell, Regional   Street, Suite 1780, Denver,        
 Administrator.                      Colorado 80202-5716, (303) 391-    
                                     5740.                              
Region IX (Arizona, California,     U.S. Dept. of Labor/Employment &    
 Hawaii, Nevada, Pacific             Training Admin., 71 Stevenson      
 Territories)--Armando Quiroz,       Street, Suite 830, San Francisco,  
 Regional Administrator.             California 94105, [phone].  
Region X (Alaska, Idaho, Oregon,    U.S. Dept. of Labor/Employment &    
 Washington)--Bill Janes, Regional   Training Admin., 1111 Third Avenue,
 Administrator.                      Suite 900, Seattle, Washington     
                                     98101-3212, [phone].        
------------------------------------------------------------------------

Appendix B.--Directory of State JTPA Liaisons

State JTPA Liaisons

(As of 4/1/96)

ALABAMA
Robert E. Lunsford, Director, Alabama Department of Economic and 
Community Affairs, P.O. Box 5690, Montgomery, Alabama 36103-5690, 
Telephone: [phone], FAX: [phone],
ALASKA
Jeff Smith, Director, Division of Community and Rural Development, 
Alaska Department of Community and Regional Affairs, 333 West 4th 
Avenue, Suite 220, Anchorage, Alaska 99501-2341, Telephone: 907-269-
4607, FAX: [phone]
ARIZONA
Bill Hernandez, Assistant Director, Division of Employment and 
Rehabilitation Services, 1789 West Jefferson; P.O. Box 6123, Suite 
901A, Phoenix, Arizona 85005, Telephone: [phone], FAX: 602-542-
2273
ARKANSAS
Sharon Robinette, Administrator, Office of Employment & Training 
Services, Arkansas Employment Security Department, P.O. Box 2981, 
Little Rock, Arkansas 72203, Telephone: [phone], FAX: [phone]
CALIFORNIA
Victoria L. Bradshaw, Director, Employment Development Department, 800 
Capitol Mall, MIC 69, P.O. Box 826880, Sacramento, California 94280-
0001, Telephone: [phone], FAX: [phone]
COLORADO
Vickey Ricketts, Executive Director, Governor's Job Training Office, 
720 South Colorado Boulevard, Suite 550, Denver, Colorado 80222, 
Telephone: [phone], FAX: [phone]
CONNECTICUT
John E. Saunders, Deputy Commissioner, Connecticut State Department of 
Labor, 200 Folly Brook Boulevard, Wethersfield, Connecticut 06109, 
Telephone: [phone], FAX: [phone]
DELAWARE
Louis A. Masci, Administrator, Employment and Training, Delaware 
Department of Labor, University Plaza, P.O. Box 9499, Newark, Delaware 
19714-9499, Telephone: [phone], FAX: [phone]
FLORIDA
Doug Jamerson, Secretary, Department of Labor and Employment Security, 
2012 Capital Circle, Southeast, Suite 303, Hartman Building, 
Tallahassee, Florida 32399-2152, Telephone: [phone], FAX: 904-488-
8930
GEORGIA
David B. Poythress, Commissioner, Georgia Department of Labor, Sussex 
Place, 148 International Boulevard, N.E., Room 600, Atlanta, Georgia 
30303, Telephone: [phone], FAX: [phone]
HAWAII
Lorraine H. Akiba, Director, Department of Labor and Industrial 
Relations, 830 Punchbowl Street, Room 321, Honolulu, Hawaii 96813, 
Telephone: [phone], FAX: [phone]
IDAHO
Roger B. Madsen, Director, Idaho Department of Employment, 317 Maine 
Street, Boise, Idaho 83735-0001, Telephone: [phone], FAX: 208-334-
6430
ILLINOIS
Herbert D. Dennis, Manager, JTPA Programs Division, Department of 
Commerce and Community Affairs, 620 East Adams, 6th Floor, Springfield, 
Illinois 62701, Telephone: [phone], FAX: [phone]
INDIANA
Timothy C. Joyce, Commissioner, Indiana Department of Workforce 
Development, Indiana Government Center South, SE302, 10 North Senate 
Avenue, Indianapolis, Indiana 46204-2277, Telephone: [phone], FAX: 
317-233-4793

[[Page 50396]]

IOWA
Cynthia P. Eisenhauer, Director, Workforce Development Department, 1000 
E. Grand, Des Moines, Iowa 50319, Telephone: [phone], FAX: 515-
281-4698
KANSAS
Wayne L. Franklin, Secretary, Kansas Department of Human Resources, 401 
S.W. Topeka Boulevard, Topeka, Kansas 66603-3182, Telephone: 913-296-
7474, FAX: [phone]
KENTUCKY
Jill K. Day, Staff Assistant, Office of Training and Reemployment, 
Workforce Development Cabinet, 275 East Main Street, 2-West, Frankfort, 
Kentucky 40621, Telephone: [phone], FAX: [phone]
LOUISIANA
Calvin E. Beale, Assistant Secretary, Louisiana Department of Labor, 
P.O. Box 94094, Baton Rouge, Louisiana 70804-9094, Telephone: 504-342-
7693, FAX: [phone]
MAINE
Valerie Landry, Commissioner, Maine Department of Labor, 20 Union 
Street; P.O. Box 309, Augusta, Maine 04330, Telephone: [phone], 
FAX: [phone]
MARYLAND
Sheila Tolliver, Assistant Secretary, Department of Labor, Licensing 
and Regulations, 1100 North Eutaw Street, Room 600, Baltimore, Maryland 
21201, Telephone: [phone], FAX: [phone]
MASSACHUSETTS
Nils L. Nordberg, Commissioner, Department of Employment and Training, 
Charles F. Hurley Building, Government Center, 19 Staniford Street, 
Boston, Massachusetts 02114, Telephone: [phone], FAX: [phone]
MICHIGAN
Douglas E. Stites, Chief Operating Officer and Vice President for 
Workforce Development, Michigan Jobs Commission, 201 North Washington 
Square, Lansing, Michigan 48913, Telephone: [phone], FAX: 517-373-
0314
MINNESOTA
Byron Lee Zuidema, Assistant Commissioner, Community Based Services, 
Minnesota Department of Economic Security, 390 North Robert Street, 1st 
Floor, St. Paul, Minnesota 55101, Telephone: [phone], FAX: 612-
296-0994
MISSISSIPPI
Jean Denson, Director, Employment Training Division, Mississippi 
Department of Economic and Community Development, 301 West Pearl 
Street, Jackson, Mississippi 39203-3089, Telephone: [phone], FAX: 
601-949-2291
MISSOURI
Julie Gibson, Director, Division of Job Development and Training, 
Department of Economic Development, P.O. Box 1087, Jefferson City, 
Missouri 65102-1087, Telephone: [phone], FAX: [phone],
MONTANA
Ingrid Danielson, Bureau Chief, State Job Training Bureau, Montana 
Department of Labor and Industry, P.O. Box 1728, Helena, Montana 59624, 
Telephone: [phone], FAX: [phone]
NEBRASKA
Dan Dolan, Commissioner, Department of Labor, P.O. Box 94600, 550 South 
16th Street, Lincoln, Nebraska 68509-4600, Telephone: [phone], 
FAX: [phone]
NEVADA
Roger Dremner, Executive Director, State Job Training Office, Capitol 
Complex, 400 West King, Carson City, Nevada 89710, Telephone: 702-687-
4310, FAX: [phone]
NEW HAMPSHIRE
Ray O. Worden, Executive Director, New Hampshire Job Training 
Coordinating Council, 64B Old Suncook Road, Concord, New Hampshire 
03301, Telephone: [phone], FAX: [phone]
NEW JERSEY
Peter Calderone, Commissioner, State of New Jersey Department of Labor, 
CN055, Trenton, New Jersey 08629-0055, Telephone: [phone], FAX: 
609-633-9271
NEW MEXICO
Clinton D. Harden, Jr., Secretary, New Mexico Department of Labor, P.O. 
Box 1928, Albuquerque, New Mexico 87103, Telephone: [phone], FAX: 
505-841-8491
NEW YORK
John E. Sweeney, Commissioner, New York State Department of Labor, 
State Office Building Campus, Building 12, Room 500, Albany, New York 
12240, Telephone: [phone], FAX: [phone]
NORTH CAROLINA
R. Scott Ralls, Director, Division of Employment and Training, 
Department of Commerce, 111 Seaboard Avenue, Raleigh, North Carolina 
27604, Telephone: [phone], FAX: [phone]
NORTH DAKOTA
Gerald P. Balzer, Executive Director, Job Service North Dakota, 1000 
East Divide Avenue; P.O. Box 5507, Bismarck, North Dakota 58506-5507, 
Telephone: [phone], FAX: [phone]
OHIO
Evelyn Bissonnette, Director, Job Training Partnership-Ohio, Ohio 
Bureau of Employment Services, 145 South Front Street, 4th Floor, 
Columbus, Ohio 43216, Telephone: [phone], FAX: [phone]
OKLAHOMA
Glen E. Robards, Jr., Associate Director, Oklahoma Employment Security 
Commission, 2401 North Lincoln, Will Rogers Building, Room 408, 
Oklahoma City, Oklahoma 73152, Telephone: [phone], FAX: 405-557-
1478
OREGON
Jacki Bessler-Perasso, Acting Manager, Business Resources Division, 
Oregon Economic Development Department, 255 Capitol Street, N.E., Suite 
399, Salem, Oregon 97310-1600, Telephone: [phone], FAX: 503-581-
5115
PENNSYLVANIA
Alan R. Williamson, Deputy Secretary for Employment Security and Job 
Training, Department of Labor and Industry, 7th and Forster Streets, 
Room 1700, Harrisburg, Pennsylvania 17120, Telephone: [phone], 
FAX: [phone]
RHODE ISLAND
Robert Palumbo, Associate Director, Department of Employment and 
Training, 101 Friendship Street, Providence, Rhode Island 02903-3740, 
Telephone: [phone], FAX: [phone]
SOUTH CAROLINA
Dr. Robert E. David, Executive Director, South Carolina Employment 
Security Comm., 1550 Gadsden Street; P.O. Box 1406, Columbia, South 
Carolina 29202, Telephone: [phone], FAX: [phone]

[[Page 50397]]

SOUTH DAKOTA
Craig W. Johnson, Secretary, South Dakota Department of Labor, Kneip 
Building, 700 Governor's Drive, Pierre, South Dakota 57501-2277, 
Telephone: [phone], FAX: [phone]
TENNESSEE
Robert L. Morris, II, Assistant Commissioner, Tennessee Department of 
Labor, 710 James Robertson Parkway, 4th Floor, Nashville, Tennessee 
37243-0658, Telephone: [phone], FAX: [phone]
TEXAS
Linda Williamson, Deputy Director, Workforce Development Division, 
Texas Workforce Commission, 211 East 7th Street, Suite 1000, Austin, 
Texas 78701, Telephone: [phone], FAX: [phone]
UTAH
Gregory B. Gardner, Director, Office of Job Training, 324 South State 
Street, Suite 500, Salt Lake City, Utah 84114-7162, Telephone: 801-538-
8750, FAX: [phone]
VERMONT
Robert Ware, Director, Jobs and Training Division, Department of 
Employment and Training, 5 Green Mountain Drive; P.O. Box 488, 
Montpelier, Vermont 05601-0488, Telephone: [phone], FAX: 802-828-
4022
VIRGINIA
Ann Y. McGee, Executive Director, Governor's Employment and Training 
Department, Theatre Row Building, 730 East Broad Street, 9th Floor, 
Richmond, Virginia 23219, Telephone: [phone], FAX: [phone]
WASHINGTON
Larry A. Malo, Assistant Commissioner, Training and Employment Analysis 
Division, Employment Security Department, 605 Woodview Drive, S.E., MS 
KG11, Olympia, Washington 98504-5311, Telephone: [phone], FAX: 
206-438-3174
WEST VIRGINIA
Andrew N. Richardson, Commissioner, Bureau of Employment Programs, Job 
Training Programs Division, 112 California Avenue, Room 610, 
Charleston, West Virginia 25305-0112, Telephone: [phone], FAX: 
304-558-2992
WISCONSIN
June Suhling, Administrator, Division of Jobs, Employment and Training 
Services, Wisconsin Department of Industry, Labor and Human Relations, 
201 East Washington Avenue, Room 201X, P.O. Box 7972, Madison, 
Wisconsin 53707, Telephone: [phone], FAX: [phone]
WYOMING
Elizabeth A. Nelson, Deputy Director, Department of Employment, P.O. 
Box 2760, Casper, Wyoming 82602, Telephone: [phone], FAX: 307-235-
3278
DISTRICT OF COLUMBIA
F. Alexis Roberson, Acting Director, D.C. Department of Employment 
Services, 500 C Street, N.W., Suite 600, Washington, D.C. 20001, 
Telephone: [phone], FAX: [phone]
PUERTO RICO
Cesar Juan Almodovar, Secretary of Labor and President Council for 
Occupational Development and Human Resources, 431 Ponce de Leon, 17th 
Floor, Hato Rey, Puerto Rico 00918, Telephone: [phone], FAX: 809-
763-0195
VIRGIN ISLANDS
Lisa Harris-Moorhead, Commissioner, V. I. Department of Labor, 2131 
Hospital Street, Christiansted, St. Croix, Virgin Islands 00820, 
Telephone: [phone], FAX: [phone]
AMERICAN SAMOA
Patolo Mageo, Acting Director, Department of Human Resources, American 
Samoa Government, Pago Pago, American Samoa 96799, Telephone: 9-1-0288-
011-684-633-5172, FAX: [phone]-1139
GUAM
William Cundiff, Director, Agency for Human Resources Development, P.O. 
Box CQ, Agana, Guam 96910, Telephone: [phone]-0751, FAX: 
9-1-0288-011-671-477-5022
NORTHERN MARIANAS
Felix Nogis, JTPA Administrator, Office of the Governor, Commonwealth 
of the Northern, Mariana Islands, Saipan, MP 96950, Telephone: 9-1-
0288-011-670-664-1700, FAX: [phone]-5096
REPUBLIC OF THE MARSHALL ISLANDS
Evelyn Konou, Minister of Education, P.O. Box 3, Majuro, Republic of 
the Marshall Islands 96960, Telephone: [phone]-3345, FAX: 9-
1-0288-11-680-488-1625
REPUBLIC OF PALAU
Josephine Ulengchong, Palau JTPA Director, P.O. Box 100, Koror, 
Republic of Palau 96940, Telephone: [phone]-2513, FAX: 9-
1-0288-011-680-488-1725
FEDERATED STATES OF MICRONESIA
Kapilly Capelle, Office of Administrative Services, FSM National 
Government, Palikir, Pohnpei, Eastern Caroline Islands 96941, 
Telephone: [phone]-2618, FAX: [phone]-5854

Appendix C.--Directory of State Dislocated Worker Units

Dislocated Worker Units

(As of 4/1/96)

ALABAMA
Raymond A. Clenney, Coordinator, Job Training Division, Alabama 
Department of Economic and Community Affairs, 401 Adams Avenue; Post 
Office Box 5690, Montgomery, Alabama 36103-5690, Telephone: (334) 242-
5893
ALASKA
Carolyn Tuovienen, DWU Coordinator, Division of Community and Rural 
Development, Department of Community and Regional Affairs, 333 West 4th 
Avenue, Suite 220, Anchorage, Alaska 99501-2341, Telephone: (907) 269-
4658
ARIZONA
Tommy Landa, DWU Coordinator, Job Training Partnership Act, 1789 West 
Jefferson, Site Code 920Z, Phoenix, Arizona 85005, Telephone: (602) 
542-2484
ARKANSAS,
Linda Morris, Arkansas Employment Security Department, Post Office Box 
2981, Little Rock, Arkansas 72203-2981, Telephone: [phone]
CALIFORNIA
Robert Hermsmeier, Displaced Worker Services Section Manager, Job 
Training Partnership Div., MIC 69, Employment Development Department, 
Post Office Box 826880, Sacramento, CA 94280-0001, Telephone: (916) 
654-9212
COLORADO
Dick Rautio, Planner, Dislocated Worker Unit, Governor's Job Training 
Office, Suite 550, 720 South Colorado

[[Page 50398]]

Boulevard, Denver, Colorado 80222, Telephone: [phone]
CONNECTICUT
Kathleen Wimer, Title III Coordinator, State Department of Labor, 200 
Folly Brook Boulevard, Wethersfield, Connecticut 06109, Telephone: 
[phone]
DELAWARE
Alice Mitchell, Technical Service Manager, Delaware Department of 
Labor, Division of Employment and Training, University Plaza; Post 
Office Box 9499, Newark, Delaware 19714-9499, Telephone: [phone]
FLORIDA
Arnell Bryant-Willis, Chief, Bureau of Job Training, Div. of Labor, 
Employment and Training, 1320 Executive Center Drive, Atkins Building--
Room 211, Tallahassee, FL 32399-0667, Telephone: [phone]
GEORGIA
Robert Davis, Chief, Worker Adjustment Section, Georgia Department of 
Labor, Sussex Place, 148 International Blvd., NE, Atlanta, Georgia 
30303, Telephone: [phone]
HAWAII
Carol Kanayama, Acting Administrator, Office of Employment and Training 
Admin., Department of Labor and Industrial Relations, 830 Punchbowl 
Street, Rm. 316, Honolulu, Hawaii 96813, Telephone: [phone]
IDAHO
Cheryl Brush, Bureau Chief, Planning, Employment and Training Programs, 
Department of Employment, 317 Main Street, Boise, Idaho 83735-0001, 
Telephone: [phone]
ILLINOIS
Herbert Dennis, Manager, Job Training Division, Dept. of Commerce and 
Community Affairs, 620 East Adams Street, Springfield, Illinois 62701, 
Telephone: [phone]
INDIANA
Sharon K. Langlotz, Director, Dislocated Worker Unit, Indiana 
Department of Workforce Development, 10 North Senate Avenue, 
Indianapolis, Indiana 46204, Telephone: [phone]
IOWA
Jeff Nall, Administrator, Division of Workforce Development, Iowa Dept. 
of Economic Development, 200 East Grand Avenue, Des Moines, Iowa 50309, 
Telephone: [phone]
KANSAS
Armand Corpolongo, Job Training Director, Department of Human 
Resources, Div. of Employment & Trainng, 401 SW Topeka Boulevard, 
Topeka, Kansas 66603, Telephone: [phone]
KENTUCKY
Jill K. Day, Staff Assistant, Office of Training and Reemployment, 
Workforce Development Cabinet, 275 East Main, 3 Floor West, Frankfort, 
Kentucky 40621, Telephone: [phone]
LOUISIANA
Dale Miller, Assistant Director, Special Programs Section Office of 
Labor, Federal Training Program Div., Post Office Box 94094, Baton 
Rouge, LA 70804-9094, Telephone: [phone]
MAINE
Michael Bourret, Dir. of Workforce Development, Maine Department of 
Labor, Bureau of Employment and Training Programs, 20 Union Street, 
State House Station 55, Augusta, Maine 04330, Telephone: [phone]
MARYLAND
Ron Windsor, Office of Employment Training, Dept. of Economic and 
Employment Development, 1100 North Eutaw Street, Room 3109, Baltimore, 
Maryland 21201, Telephone: [phone]
MASSACHUSETTS
Suzanne Teegarden, Director, Industrial Services Program, The Schrafft 
Center, 529 Main Street, Suite 400, Boston, Massachusetts 02129, 
Telephone: [phone] -X319
MICHIGAN
James Hover, Workforce Transition Unit, Michigan Jobs Commission, 201 
N. Washington Square, Lansing, Michigan 48913, Telephone: (517) 373-
2162
MINNESOTA
Jim Korkki, Director, Dislocated Worker Program, Community-Based 
Services, Minnesota Dept. of Economic Security, 390 North Robert 
Street, First Floor, St. Paul, Minnesota 55101, Telephone: (612) 296-
6061
MISSISSIPPI
Jean Denson, Director, Employment Training Division, Mississippi Dept. 
of Economic and Community Development, 301 West Pearl Street, Jackson, 
MS 39203-3089, Telephone: [phone]
MISSOURI
Julie Gibson, Director, Div. of Job Development and Training, 
Department of Economic Development, Post Office Box 1087, Jefferson 
City, MO 65102-1087, Telephone: [phone]
MONTANA
Mary Walsh, DWU Coordinator, State Job Training Bureau, Montana Dept. 
of Labor and Industry, Post Office Box 1728, Helena, Montana 59624, 
Telephone: [phone]
NEBRASKA
Edward Kosark, Nebraska Department of Labor, Job Training Program 
Division, 550 South 16th Street, Lincoln, Nebraska 68509, Telephone: 
[phone]
NEVADA
Jan Pirozzi, DWU, State Job Training Office, Capitol Complex, 400 West 
King St., Suite 108, Carson City, Nevada 89710, Telephone: (702) 687-
4310
NEW HAMPSHIRE
Boby Stevens, DWU Director, New Hampshire Job Training Coordinating 
Council, 64-B Old Suncock Road, Concord, New Hampshire 03301, 
Telephone: [phone] X440
NEW JERSEY
Thomas Drabik, Director, Rapid Response Team, Labor Management 
Committee, New Jersey Dept. of Labor, CN 058, Trenton, NJ 08625-0058, 
Telephone: [phone]
NEW MEXICO
Kent James, Planner/EDWAA Coordinator, Post Office Box 4218, Santa Fe, 
NM 87502, Telephone: [phone]
NEW YORK
Charles Bertolami, Acting DWU Director, NY State Dept. of Labor, State 
Office Campus--Bldg. 12, Albany, New York 12240, Telephone: (518) 457-
3101
NORTH CAROLINA
R. Scott Ralls, Director, Div. of Employment and Training, NC 
Department of Commerce, 111 Seaboard Avenue, Raleigh, NC 27604, 
Telephone: [phone]
NORTH DAKOTA
James Hirsch, Director, Job Training Division, Job Service North 
Dakota, 1000 E. Divide Avenue; Post Office

[[Page 50399]]

Box 5507, Bismarck, ND 58502-5507, Telephone: [phone]
OREGON
Patricia Grose, DWU Coordinator, Economic Development Dept., 255 
Capitol Street, NE; 3rd Floor, Salem, Oregon 97310, Telephone: (503) 
373-1995
OHIO
James Turner, Manager, Rapid Response, OJT Ohio, Ohio Bureau of 
Employment Services, 145 South Front Street; Post Office Box 1618, 
Columbus, OH 43215, Telephone: [phone]
OKLAHOMA
Joe Glenn, Chief, DWU Unit, Oklahoma Employment Security Commission, 
Will Rogers Building, Room 408, 2401 North Lincoln Boulevard, Oklahoma 
City, Oklahoma 73105, Telephone: [phone]
PENNSYLVANIA
John Vogel, Director DWU, Labor & Industry Building, 7th and Forester 
Streets; Room 1112E, Harrisburg, PA 17120, Telephone: [phone]
RHODE ISLAND
Robert Gray, EDWAA Coordinator, Dept. of Employment and Training, 109 
Main Street, Pawtucket, RI 02860, Telephone: [phone]
SOUTH CAROLINA
Maxwell F. Parrott, Jr., Program Coordinator, Manpower Training Unit, 
Post Office Box 995, Columbia, SC 29202, Telephone: [phone]
SOUTH DAKOTA
Mike Ryan, JTPA Administrator, SD Dept. of Labor, Kneip Building, 700 
Governors Drive, Pierre, SD. 57501, Telephone: [phone]
TENNESSEE
Louis Stone, DWU Manager, TN Department of Labor, Gateway Plaza, 710 
James Robertson Parkway, 4th Floor, Nashville, TN 37243, Telephone: 
[phone]
TEXAS
Dale Robertson, Manager EDWAA, Work Force Development Div., Texas 
Workforce Commission, 211 East 7th Street, Suite 1000, Austin, Texas 
78701, Telephone: [phone]
UTAH
Gary Gardner, DWU Supervisor, Utah Office of Job Training for Economic 
Development, 324 South State Street; Suite 500, Salt Lake City, Utah 
84114-7162, Telephone: [phone]
VERMONT
Andrea Tomasi, DWU Coordinator, Dept. of Employment and Training, Post 
Office Box 488, Montpelier, Vermont 05602, Telephone: [phone]
VIRGINIA
Rob Ashby, Virginia Employment Commission, Post Office Box 1358, 
Richmond, Virginia 23211, Telephone: [phone]
WASHINGTON
Larry Malo, Assistant Commissioner, Employment and Training Division, 
605 Woodland Square Loop, SE, MS-6000; Post Office Box 9046, Olympia, 
WA 98507-9046, Telephone: [phone]
WEST VIRGINIA
Sherron Higginbotham, Manager, Governor's Administered Programs & DWU, 
Bureau of Employment Programs, Job Training Programs Division, 112 
California Avenue, Charleston, WV 25305-0112, Telephone: [phone]
WISCONSIN
Dan Bond, Chief, Dislocated Worker Unit, Division of Jobs, Employment & 
Training Services, Dept. of Labor, Industry and Human Relations, 201 E. 
Washington Avenue, Post Office Box 7972, Madison, Wisconsin 53707, 
Telephone: [phone]
WYOMING
Brian Clark, Coordinator, Job Training Program, Dept. of Employment, 
100 West Midwest, Post Office Box 2760, Casper, Wyoming 82602, 
Telephone: [phone]
PUERTO RICO
Ardin Teron, President, Technological--Occupational Education Council, 
431 Ponce de Leon, 16th Floor, Hato Rey, PR 00918, Telephone: (809) 
754-5633
VIRGIN ISLANDS
Malcolm McGregor, DWU Coordinator, V.I. Department of Labor, 2131 
Hospital Street, Christiansted, St. Croix, V.I. 00820, Telephone: (809) 
773-1994
DISTRICT OF COLUMBIA
Shirley Arnett, DWU Chief, 1000 U Street, N.W., Suite 331, Washington, 
DC 20001, Telephone: [phone]

Appendix D.--Assurances and Certifications

Assurances and Certifications for JTPA Title III National Reserve 
Grants

----------------------------------------------------------------------
assures that:
    1. Use of funds provided through this grant will be in accordance 
with the Act, applicable regulations, the application and any 
amendments thereto as approved by the Grant Officer, and shall be 
consistent with the executed award document signed by the Grant 
Officer.
    2. Services under this grant will be provided only to eligible 
dislocated workers.
    3. Services will not be denied on the basis of residence to 
eligible dislocated workers.
    4. The project design will reflect full consultation with each 
local labor organization(s) representing 20% or more of the workers 
affected by the layoff(s) covered by this grant.
    5. The project will provide activities and services which are 
supported with funds reserved by the Secretary pursuant to 
Sec. 302(a)(2) and Sec. 322(a)(3) of the Job Training Partnership Act.
    6. The project will operate in accordance with the General 
Administrative Provisions of the Act, as described in Title I, Parts C 
and D, and section 312(e) of the Act; 20 CFR Part 627 of the 
Regulations; and 20 CFR Part 631, Sec. 631.13, Sec. 631.15, 
Sec. 631.16, Sec. 631.17, Sec. 631.31, Sec. 631.37, and Subpart G.
    7. The project will maintain accurate and timely participant and 
fiscal records, and will submit complete, accurate and timely reports 
as specified by the Grant Officer.
    8. Except as described in the application and as approved by the 
Grant Officer, projects administered by State or Title III substate 
grantees will adhere to all policies and procedures identified in the 
approved State Title III Plan, and applicable Title III substate plan.
    9. Retraining will only occur in occupations with a demand for 
workers.
    10. By signing these Assurances and Certifications, the applicant 
is assuring compliance with the provisions of each of the following:
    a. Assurances--Non-Construction Programs (SF 424B);
    b. Debarment, Suspension, Ineligibility and Voluntary Exclusion--
Primary Covered and Lower Tier Transactions (29 CFR Part 98);
    c. Certification Regarding Lobbying (29 CFR Part 93);
    d. Certification Regarding Drug-Free Workplace (29 CFR Part 98);
    e. Certification of Release of Information;
    f. Compliance with Nondiscrimination and Equal Opportunity 
Requirements of JTPA (29 CFR Part 34).

[[Page 50400]]

    11. Each contract for on-the-job training will comply with the 
provisions at Sec. 627.240 of the Regulations.
    12. It will conduct at least once annually a comprehensive review 
and verification of financial management, procurement systems, 
participant data, and subrecipient monitoring procedures and systems 
for the project operator.
    13. Funds awarded under this grant will not supplant available 
resources, and will be coordinated with all resources available to 
provide assistance to the target group.
    14. It will provide effective administration and oversight of the 
funds awarded through this grant; and that it will review expenditures 
and enrollment data against the planned levels for the project and 
notify the Grant Officer expeditiously of any potential over- or 
underexpenditure of grant funds.
    15. It will compile and maintain information on project 
implementation on a monthly basis, and shall provide such information 
to the Department as requested.
    16. It will develop and implement a system for collecting 
information from participants regarding satisfaction with outcomes and 
the service process, and for using that information in a continuous 
improvement process regarding project design and operation.

----------------------------------------------------------------------
Signature of Authorized Signatory

----------------------------------------------------------------------
Date

----------------------------------------------------------------------
Name

Appendix E.--Definitions of Key Terms

Definitions of Key Terms

    1. Family, for purposes of establishing eligibility for needs-
related payments, means two or more persons related by blood, marriage, 
or decree of court who are living in a single residence, and are 
included in one of the following categories:

 A husband, wife and dependent children;
 A parent or guardian and dependent children;
 A husband and wife.

    2. Family income means income as defined by the Department of 
Health and Human Services in connection with the annual poverty 
guidelines. Items which should not be included in computing family 
income are:

 unemployment compensation
 child support and public assistance (including Aid to Families 
with Dependent Children, Supplemental Security Income, Emergency 
Assistance money payments, and non-federally funded General Assistance 
or General Relief payments)
 foster child care payments
 educational financial assistance received under Title IV of 
the Higher Education Act
 needs-based scholarship assistance
 income earned while on active military duty.

    In addition, when a Federal statute specifically provides that 
income or payments received under such statute shall be excluded in 
determining eligibility for and the level of benefits received under 
any other federal statute, such income shall be excluded.
    With the exception of the above, and any other exclusions which can 
be determined appropriate, family income to be used in determining 
eligibility for needs-related payments shall be all income actually 
received from all sources by all members of the family for the six-
month period prior to application, annualized. When computing family 
income, income of a spouse and other family members is counted for the 
portion of the six-month period, prior to application that the person 
was actually a member of the family.
    3. High performance workplace activities are activities designed to 
increase the productivity of workers and the efficiency of work 
processes. They include, but are not limited to: analyzing and 
restructuring (``reengineering'') work processes to strip down 
processes and work procedures to the most essential parts; acquisition 
and installation of flexible, multi-purpose, usually computer-based 
equipment; development and installation of self-control performance 
management procedures; worker participation in designing new work 
procedures and methods, including evaluation and selection of new 
technologies and equipment to be used in the workplace; development of 
worker skills in self-control systems and procedures, decision-making, 
working in team-based environment; development of worker competence in 
using new technologies, including an active role by worker 
representatives in evaluating and selecting training methodologies and 
materials.
    4. Obsolete skills, for purposes of establishing eligibility for 
skills upgrading, means skills or skill levels that would not allow the 
individual worker to meet current hiring requirements for the 
occupation in the local labor market, or a labor market to which the 
individual is willing to relocate. Examples of reasons for ``obsolete 
skills'' include: skills that are based on individual employer 
requirements and are not transferrable to other workplaces; skills that 
are satisfactory in low technology work environments, but are 
inadequate to meet hiring criteria or for successful job performance in 
similar occupations within the current local labor market.
    5. Project Operator is an entity which receives an award from the 
grantee to operate a full service program for all or part of the target 
group covered by the grant. Project operators may be defined on the 
basis of geographical service areas or specific segments of the target 
population, but shall not be considered to be individual service 
offices or locations, or providers of specific services (e.g., 
occupational skills training). In general, project operators would 
qualify as ``subrecipients'' as defined at 20 CFR 626.5 of the JTPA 
Regulations.
    6. State, for the purposes of these grant application guidelines, 
shall mean the 50 States of the United States, as represented by the 
State JTPA agency under the Governor/Secretary Agreement and the JTPA 
Agreement, block grants. ``State'' shall also include the following 
grant eligible territories and legal jurisdictions: District of 
Columbia, Commonwealth of Puerto Rico, Virgin Islands, Guam, American 
Samoa, Commonwealth of Northern Marianas, Republic of the Marshall 
Islands, Federated States of Micronesia, and Republic of Palau, as 
represented by the State JTPA agency under the Governor/Secretary and 
the JTPA Grant Agreements, ``block grant''.
    7. Substate area means that geographic area in a State designated 
by the Governor pursuant to his/her authority under section 312 of 
JTPA.
    8. Substate grantee means that agency or organization selected to 
administer programs under agreement among the Governor, the local 
elected official or officials of the applicable substate area, and the 
private industry council or councils of such area, as provided in 
section 312 of JTPA.
    9. Substantial layoff, for the purpose of eligibility of a layoff 
for assistance with national reserve account funds, is any reduction-
in-force which is not the result of a plant closure and which results 
in an employment loss at any single site of employment during any 30 
period for at least 33% of the employees (who work 20 or more hours per 
week) or at least 50 employees (who work 20 or more hours per week).
    10. Wage replacement rate for entered employments is the number 
which represents the average, for all project participants, of the 
ratio of the

[[Page 50401]]

placement wage to the dislocation wage for each participant.

[GRAPHIC] [TIFF OMITTED] TN25SE96.006

[FR Doc. 96-24535 Filed 9-24-96; 8:45 am]
BILLING CODE 4510-30-U